Donald C. Maxham
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Donald Claude Maxham was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1970. Donald had worked at 6 firms and has passed the Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 1997 - April 15, 2015
QUEST SECURITIES, INC.
July 27, 1978 - December 31, 1996
FOOTHILL SECURITIES, INC.
October 4, 1973 - August 10, 1978
INVESTOGENIC SERVICES, INC.
January 11, 1972 - November 14, 1973
VANGUARD SECURITIES, INC.
March 5, 1971 - February 14, 1972
PORTSMOUTH SQUARE EQUITY CORP
November 5, 1970 - November 22, 1971
MUTUAL FUND ADVISORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 6/3/1965
Registered Representative ExaminationCurrent Firm
QUEST SECURITIES, INC.
CRD#: 6828 / SEC#: , 8-18273
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
